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Investment Advisers & Investment Adviser Representativesunderline

FINRA BrokerCheck

FINRA BrokerCheck is a free online tool to help investors check the professional background of current and former FINRA-registered securities firms and brokers. It should be the first resource investors turn to when choosing whether to do business with a particular broker or brokerage firm.

FINRA BrokerCheck

Forms
Investment Adviser Forms

General Information
Broker Dealer vs. Investment Adviser
Investment Adviser Regulation
Investment Adviser Public Disclosure
Complaint Process

Regulation & Licensing
Summary of Nebraska Investment Adviser Registration Requirements (PDF)
Investment Adviser Firm and Representative Registration Information
Investment Adviser Firm and Representative Renewal Information

Legal Resources
Agency Rules/Administrative Code
Agency Actions/Administrative Orders
Investment Adviser Statutes
Unicameral Statutes Search

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Continuing Education Resources

News & Press Releases
News
Press Releases
Nebraska Public Meeting Calendar

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